Construction Supplier Register Consultant Pre-Qualification

Construction Supplier Register – Consultant pre-qualification

Attachment B

1. Occupational Health and Safety guidance note for Consultants

1.1 The purpose of this guidance note

This guidance note has been prepared to assist Consultants to understand what is required for them to satisfy the Construction Supplier Register (CSR) Occupational Health and Safety (OHS) criteria.

The guidance note explains the purpose for each of the CSR’s criteria and provides guidance as to the standard required. It is not to be taken as an explanation of the Occupational Health and Safety Act 2004 (the OHS Act) and the regulations made under the OHS Act.

1.2 The CSR criteria

The CSR OHS criteria are designed to cover:

· specific requirements under the OHS Act and the regulations made under the OHS Act;

· general requirements of the OHS Act and regulations;

· additional requirements under the OHS Act and regulations; and

· criteria that represent recognised industry standards.

Attachment A, which is part of the CSR pre-qualification application package, incorporates some general guidance for Consultants as to the evidence and means by which the Consultant may demonstrate that they meet the particular criterion.

However Attachment A is not meant to be exhaustive and the CSR does not assess Consultants for a particular construction activity or project.

1.3 Consultants must comply with all of the OHS criteria relevant to your role or roles

Parts 1 and 3 are to be completed by all Consultants.

Part 2 is to be completed by those Consultants who design buildings and structures which are intended to be used as workplaces.

1.4 Consultants must provide documentary evidence

The Consultant must provide specific data or documentary evidence to demonstrate compliance with the CSR, OHS criteria.

The documentary evidence will need to clearly demonstrate that the Consultant has in place a systematic, consistent and documented approach to the key criteria of OHS.

1.5 The CSR Panel of OHS assessors

The CSR has established a panel of OHS assessors to evaluate Consultants’ OHS system documents and to prepare reports for the CSR.

The assessors generally conduct ‘desktop’ assessments of the Consultant’s OHS system documents and any supporting evidence.

In some cases the assessor will evaluate the quality and/or applicability of the Consultant’s OHS system criteria, procedures and documents. In some cases the assessor may contact the Consultant to obtain additional information before an assessment can be completed.

1.6 What if you fail one or more criteria?

A Consultant who fails to meet any of the criteria will be provided with details of the deficiencies and will be given the opportunity to discuss with the OHS Assessor and/or the CSR, the means by which deficiencies may be remedied.

The Consultant may be required to provide to the assessor and/or to the CSR:

· newly developed OHS documents to meet the requirements (e.g. development of a required instruction or document);

· amended documents;

· evidence of action taken to correct the identified deficiency; and

· evidence of the means taken by the Consultant to introduce new documents or procedures.

The CSR will consider the response of a Consultant to identified non-compliance without reference to previous failed applications.

1.7 Meeting the requirements does not guarantee performance

Meeting the CSR’s pre-qualification requirements is an indication that the Consultant has some of the most fundamental systems in place to enable the Consultant to meet their obligations under the OHS Act and/or the regulations.

It is not an indication of ongoing satisfactory OHS performance by the Consultant, or that the Consultant is suitable for any particular project or work. The Consultant may be required to provide further information when submitting a proposal, tender or quotation for work.

Some of the pre-qualification requirements are not specifically prescribed by the OHS Act or Regulations, but are considered to be necessary to enable the Consultant to meet the requirements of the OHS Act or regulations or for effective OHS risk management.

2. The occupational health and safety criteria

Consultants as designers of workplace buildings and structures

2.1 Who is a designer?

Designers under Section 28 include persons who design buildings or structures or part of part or structure in the course of undertaking their profession, trade or business.

Victorian WorkCover Authority considers that designing includes:

· making preliminary sketches, plans or drawings for a building or a structure before it is constructed, commissioned and used as a workplace; and

· making specialist, expert or technical decisions for incorporation into the design that may affect the risk to health or safety of people using the building or structure as a workplace.

The duty clearly applies to professionals with expertise and/or technical skills required to design a particular building, structure or part of a building or structure.

Given that the design process for a workplace building or structure may occur at various stages of a project, as shown below, several persons may have duties under Section 28:

General project stages involving design

· Pre-design; siting, feasibility study;

· Conceptual and schematic design;

· Design development;

· Construction documentation; and

· Construction, refurbishment or modification.

Designers may include:

· architects, or draftspersons who undertake the design on behalf of clients, including conducting feasibility study, producing schematic design or preparing construction documentation or tendering, depending on the contractual arrangement;

· other designers who participate in the design or make decisions during any of the project phases. These may include engineers, interior designers who design parts of the building or structure which are integral to the use of the building or structure as a workplace.

For additional reading; Victorian WorkCover Authority publication, Designing Safer Buildings and Structures. A Guide to Section 28 of the Occupational Health and Safety Act 2004.

2.2 What must be provided for?

The designer must ensure that the design of the building or structure is safe for use for a purpose for which it was designed. This is specifically provided for by Section 28 of the OHS Act.

A designer also has a duty under either Section 23 or 24 of the OHS Act to ensure so far as is reasonably practicable that people other than their employees are not exposed to risks to their health or safety from the conduct of the undertaking (business) of the designer. Where the undertaking includes the design of buildings or other structures, this may require the designer to take account in the design risks that are reasonably foreseeable to the Consultant at the time of the design activity, which may include risks during construction or maintenance – e.g. where the nature of the design means that it will be difficult to access high points in the structure using conventional means.

Compliance with this Criterion may include demonstrating an implemented policy requiring individuals undertaking design activity for the Consultant to consider reasonably foreseeable risks associated with the design.

2.3 Criterion 1a: The consultant’s corporate position on OHS in design and how it is disseminated

Business’s OHS position on OHS in design should be established to demonstrate the business management’s commitment to design safety. It will help create a culture for design safety at both corporate and project levels.

The Business’s OHS position statement should be known by employees and other workers carrying out design work and interested parties.

2.4 Criterion 1b: The consultant’s commitment to addressing health and safety in design at project level

To demonstrate OHS commitment at project level, the designer should develop a project‑specific health and safety brief and provide it to prospective client before accepting and starting design project. It can be developed either as an independent brief or a part of the designer’s return brief.

The health and safety brief will inform the client about the designer’s safety objectives for the project and provide a scope for the selection or development of design options during the design process later on.

It is understandable that the designer’s control over design outcomes will be subject to the client’s final decision, however the designer’s OHS brief will help create a set of agreed principles for achieving safety outcomes at the onset of a design project.

This step is also relevant to the obligations noted below at Criterion 5e for consultation with and coordinating activities with others for effective OHS risk management.

2.5 Criterion 1c: The consultant’s systematic approach to address health and safety risks in design

Project-specific health and safety risks should be addressed in conformance with safety risk management systematic approach. This involves:

· hazard identification and analysis;

· risk management and selection or development of options to eliminate or reduce risks through design. The selection of suitable design options should be based on considerations such as: Standards solutions, industry / technical guidance and outcomes of risk assessments;

· review/evaluation of design; and

· communication to client regarding residual risks and suggested control measures (the information should be kept in a risk register).

Further information on the systematic process can be found in the Victorian WorkCover Authority’s publication titled Designing Safer Buildings and Structures. A Guide to Section 28 of the Occupational Health and Safety Act 2004 (page 12, 1st edition, 2005).

2.6 Criterion 1d: The means, by which the consultant builds, maintains and continuously enhances OHS knowledge and capabilities from a design perspective

The consultant should demonstrate the capability to identify and respond to health and safety hazards and risks associated with the design project. This requires the consultant to have relevant knowledge and information. The baseline knowledge and information must be demonstrated through appropriate means, such as training and qualifications of relevant personnel in OHS relevant to the design function.

As design concepts evolve and construction methods change, so does knowledge of the associated hazards and risks. The consultant must keep OHS knowledge up to date and needs to demonstrate the means by which that is done.

This may be achieved internal personnel or through membership of an appropriate association providing services that will meet this requirement, or through the engagement of a OHS consultant to advise.

This criteria may be satisfied by evidence of each of the following:

· relevant training of relevant design personnel, or of the qualifications of OHS advisors relating to OHS issues in design;

· that the consultant has ongoing access to information about the current state of knowledge of OHS hazards and risks associated with the design of plant, buildings and structures, and the means for controlling hazards and risks in design;

· the means by which that information is disseminated throughout the organisation to those involved in design activities; and

· the means by which that information is updated.

2.7 Criterion 1e: Management review of overall OHS performance

The review should be done at regular intervals to evaluate aspects such as:

· the effectiveness of OHS performance in design projects;

· processes and systems applied during design process to address hazards and risks; and

· good design practices and lessons learned which could be used in future design projects.

3. Consultants requirements for OHS in conducting a business

3.1 Criterion 2: OHS policy

The Consultant must have and provide a copy of an organisational-specific OHS policy that, at the least, states:

· a clear commitment to providing for the health and safety of all employees and other workers and others who may be affected by their activities, and achieving legal compliance, through effective risk management;

· the means by which that commitment will be met (e.g. risk assessment, safe systems of work, training);

· the respective responsibilities and roles of stakeholders at all levels within and external to the organisation in ensuring safety; and

· a commitment to continuous improvement and policy review, including a date or time within which the policy will be reviewed.

The policy is significant as both a statement of values against which the organisation can be held accountable and an indication of the key criteria and roles in OHS. It can be a demonstration of the understanding of the organisation of the importance and criteria of OHS management.

The policy should preferably be signed by the most senior person within the organisation (e.g. Chairman, Managing Director, CEO, General Manager) to demonstrate commitment at the top of the organisation.

3.2 Criterion 3: Officers’ governance of OHS

Sections 144 and 145 of the OHS Act provide for an officer of a company, partnership or association (“the organisation”) to be guilty of the same offence as that committed by the organisation, if that offence was attributable to the failure of the officer to exercise reasonable care.

The involvement of officers is considered to be a key to the proper and effective management of OHS in an organisation, by ensuring that the organisation has and applies appropriate resources and policies and procedures for OHS.

The definition of an officer in s9 of the Corporations Act is adopted in the OHS Act and includes:

· directors and secretary of a company;

· partners in a partnership;

· officers in an unincorporated association;

· persons involved in making decisions that affect the whole or a substantial part of the organisation (commonly known as the Executive or Management);

· those who have the capacity to affect significantly the financial standing of the organisation;

· those on whose instructions or wishes the directors are accustomed to act; and

· a liquidator, trustee, administrator, receiver and manager.

These are the people who have the role of governing the organisation and are able to determine or affect the ability of the organisation to properly and effectively manage OHS.

Ways in which the Consultant may demonstrate compliance with this criterion, and reasonable care for the purposes of the OHS Act include:

1. evidence of advice provided to the Consultant identifying who the officers are;

Note: if the Consultant is a company whose directors are the only managers of the business, then the directors may be the only officers and this step may not be needed).

2. details of a governance (management) structure and process that provide for:

(a) the gathering and analysis of relevant information;

(b) reports on relevant matters to be provided to the officers, in a timely fashion (e.g. regular reporting on some matters and timely reporting of incidents);

(c) advice to be provided to the officers (from sources within and external to the business); and

(d) monitoring, auditing and review of performance.

3. confirmation that information provided to officers allows them to have the required knowledge and understanding of each of the elements of the due diligence definition (e.g. as to hazards and risks, required resources and policies).

An officer may comply with this criteria where they receive and respond to information through direct involvement by them in work activities. This is typically the case for single director companies, small partnerships and for “hands on” directors and managers in small businesses. Officers who are not involved directly in work activities, typically in medium to large size companies or partnerships, will need to demonstrate other means by which they receive and respond to relevant information.